Frank R. Maresca
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Ronald Maresca JR, who also goes by Frank Ronald Maresca, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1992. Frank had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2016 - October 11, 2016
BRISTOL INVESTMENT GROUP, INC.
June 10, 2013 - April 30, 2014
SOURCE CAPITAL GROUP, INC.
January 11, 2011 - July 19, 2011
CHELSEA FINANCIAL SERVICES
January 28, 2009 - December 23, 2009
CETERA FINANCIAL SPECIALISTS LLC
October 24, 2005 - March 1, 2007
CETERA FINANCIAL SPECIALISTS LLC
October 13, 2005 - October 24, 2005
C. J. M. PLANNING CORP.
May 3, 2001 - December 31, 2003
C. J. M. PLANNING CORP.
September 7, 1999 - December 1, 1999
THE REGENCY GROUP, INC.
July 11, 1995 - September 15, 1997
D. WECKSTEIN & CO., INC.
July 5, 1994 - May 10, 1995
SAMCO FINANCIAL SERVICES, INC.
November 8, 1993 - April 22, 1994
INSTITUTIONAL EQUITY CORPORATION
June 29, 1993 - August 20, 1993
TD AMERITRADE, INC.
May 26, 1992 - June 24, 1992
GKN SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
BRISTOL INVESTMENT GROUP, INC.
CRD#: 39684 / SEC#: , 8-48790
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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